- Section 840-4.17 of Title 74 of the Oklahoma Statutes
- OKDHS:2-1-17. Employee performance management process (PMP), classified and unclassified
- OKDHS:2-1-18 through 2-1-25 Under 1. Administrative Components [OKDHS-002] 2. Human Resources Management Division [OKDHS-002-01] > 1. Internal Human Resources
Employee performance appraisal is a method by which job performance is evaluated and is an important part of staff career development. The Performance Management Process (PMP) is the employee evaluation tool that state law requires most state agencies to use, and is based on a continuous cycle of planning, coaching and performance review.
The PMP is designed to facilitate an ongoing process of communication between the supervisor and the employee, leading to the performance improvement of the individual, the unit and Oklahoma Human Services (OKDHS).
The PMP establishes a shared understanding between the employee and supervisor about:
- what is to be achieved;
- how it is to be achieved; and
how the employee can build upon their strengths to enhance their performance and develop their career.
The PMP considers eight (8) employee accountabilities (with a ninth one for leadership) and a set of five (5) behaviors that influence actual performance:
- Customer service orientation;
- Problem-solving initiative;
- Leadership; and
Observing work hours/using leave.
Each of the employee’s accountabilities and behaviors should be written at the level of the capabilities expected of an average employee in your position, with a similar level of training and experience. At the end of the rating period, each accountability and behavior will be rated as follows:
The only exception to this is in regard to “Observing work hours/using leave,” which is rated simply as either “Meets Standards” or “Does Not Meet Standards.”
Additionally, the “Leadership” behavior may be rated as “Not Applicable” for employees whose work does not afford them the opportunity to show leadership on the job. That should not, however, discourage supervisors from rating “Leadership” whenever possible, and it should not be limited solely to supervisors and managers. Identifying leadership potential in all of our staff is a critical function of current leaders.
As a supervisor, what is my responsibility and authority in the PMP, and in developing an employee’s HCM-111?
- The major responsibility for developing and administering the PMP within the appropriate time frames falls to an employee’s immediate supervisor. In their own HCM-111, they are rated on efficiency in conducting the various aspects of the PMP for their employees.
What is the reviewer’s role in the Performance Management Process?
- The reviewer consults with the employee’s immediate supervisor throughout the process to make sure it is properly administered, to find out if informal discussions or coaching sessions have taken place, and to check for consistency between supervisors.
- The reviewer has the final authority on an employee’s rating.
What should I review when preparing an employee’s HCM-111?
- The OKDHS mission, values and vision;
- The goals and objectives of your office and unit;
- The job family descriptor (JFD) and the actual duties expected of the position;
- The employee’s previous HCM-111, if applicable; and
- Any reports that can assist you in monitoring and tracking work.
When should I open the HCM-111 to begin the PMP with a new employee?
- The HCM-111 should be opened by the new employee’s 30th day on duty. You should meet with the employee to go over the accountabilities and behaviors upon which they will be rated.
- Then the employee, supervisor, and the reviewer should sign and date Section G of the HCM-111.
When should I open the HCM-111 to begin the PMP with a permanent employee?
- When the previous HCM-111 has been rated and closed, the new HCM-111 should be opened within 30 days. If the employee’s job has not changed, you may open a new HCM-111 for the next 12 months at the same time you finalize the PMP for the previous rating period.
- Once you’ve completed the planning phase, make sure the HCM-111 is properly signed and dated by the employee, you and the reviewer.
A new HCM-111 needs to be initiated whenever an employee:
- Has significant changes in his or her job duties;
- Transfers to a new work organization;
- Is assigned to a new or different supervisor;
- Is promoted or demoted to a different job family or level.
As the immediate supervisor, I realize a mid-point evaluation is required for each employee. What should I consider and review when preparing for the mid-point evaluation conference?
- First, remember that a mid-point evaluation is the minimum required. Successful supervisors will discuss the accountabilities and behaviors with each of their employees frequently, and at least once every three (3) months.
What are the expectations of the mid-point evaluation conference?
- The mid-point review should be scheduled in a private area 30 days before or after the mid-point of the evaluation period. During the conference the immediate supervisor reviews the employee’s progress in achieving each of the accountabilities, behaviors and, if applicable, progress that has been made on the employee’s development plan. Conference notes are made to confirm a mutual understanding and as a reference to thoughts exchanged during the conference. Additionally, you can refer to the notes when finalizing the HCM-111.
- Finally, the employee, supervisor and reviewer all sign and date the appropriate block in Section G of the HCM-111 form verifying the mid-point conference was held.
Besides closing the PMP at the end of the annual rating period, what are other reasons for the closure of the PMP, form HCM-111?
- When an employee is probationary, the PMP should be closed at least 30 days before the end of the probationary period (For example, if a probationary employee’s entry-on-duty date is 8-15-2019, the HCM-111 should be closed on 7-15-2020).
- Prior to an employee transferring to a new work location, being promoted, demoted, or terminating employment with OKDHS, or if there is a significant change in an employee’s job duties.
- Before an immediate supervisor leaves his or her work assignment. If the HCM-111 has been opened more than 90 days it should be closed with an evaluation, if it has been less than 90 days they will be closed without evaluation.
- And, of course, within 30 days following the employee’s annual evaluation date for a permanent classified or a regular unclassified employee.
When closing the HCM-111 (PMP) what procedure should I follow?
- Begin by reviewing the employee’s former HCM-111 and any notes from the mid-point evaluation. Also review relevant reports, notes on coaching sessions and any other available information.
- The immediate supervisor rates the accountabilities and the behaviors. Any rating on the HCM-111 other than “meets standards” must include comments in the results section for that accountability or behavior which justify the rating.
- The reviewer checks for consistency of applicable standards in ratings and approves or disapproves the ratings given for the performance of the employee. The reviewer may include written comments or exceptions in the additional comments block.
- The supervisor schedules a private conference with the employee. Each accountability and behavior is reviewed and discussed as it applies to the actual performance of the individual. If the supervisor has properly conferenced with the employee, there should be no surprises as to the final ratings.
- The employee and the supervisor also discuss the development plan, to include performance strengths, areas for development and a plan for achieving any goals. It may also be helpful for the supervisor to schedule a meeting to address the development plan a few days later, particularly in an emotionally charged conference.
- During the conference, the employee may request that changes be made in the ratings on the HCM-111. If any changes are made, the HCM-111 must again be reviewed and approved by the reviewer.
- The employee is given the opportunity to make any written comments in Section G or submit a rebuttal in writing to the supervisor. Once completed, the HCM-111 is signed and dated by the employee, the supervisor and the reviewer. The employee’s signature does not indicate that he or she agrees with the report, but that it has been discussed. The supervisor is responsible for copying and distributing a complete copy of the finalized HCM-111 to all participating parties.
The completed HCM-111 rating is entered in PeopleSoft under Manager Self Service. Once the supervisor verifies this, the original HCM-111 is forwarded to Lucinda Smith (Lucinda.Smith@okdhs.org) in Human Resource Management to be scanned to the personnel files. Please do not include any additional documentation or attachments apart from an employee rebuttal.
Click on the appropriate link to access additional resources:
- Performance Management Process (PMP) – HCM-111 form (11PE111E.pdf)
- PMP FAQs,
- Performance Management Process Handbook,
- How to Enter an HCM-111 into PeopleSoft, and
- New HCM close out process.
E-Training for the PMP can be accessed through the OKDHS Learning Management System (Link opens in new window) under DHS (All Employees). Additionally, the Office of Management and Enterprise Services offers a 1-day PMP course through their Statewide Learning Services.
You may also contact OKDHS Human Resources, Performance and Compliance Unit.